RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
T•••••• C••••• H•••••
- Z•••• I••••••••• M••••••••• I••• mixed wealth currentsince Apr 22, 2009 · Chicago, Il
- A••••••••• A•••••• S•••••••• I••• unclassifiedSep 11, 2003 to Mar 24, 2009 · Louisville, Ky
- J••••• H•••••••• W••• L••••• L•• formerOct 30, 2002 to Sep 10, 2003 · Louisville, Ky
- A••••••••• A•••••• S•••••••• I••• to Z•••• I••••••••• M••••••••• I•••left Mar 24, 2009, registered Apr 22, 2009 (29 days) · Other
- J••••• H•••••••• W••• L••••• L•• to A••••••••• A•••••• S•••••••• I•••left Sep 10, 2003, registered Sep 11, 2003 (1 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wealth manager with institutional or fund businessderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address